September 19-20, 2016
Sheraton Denver Downtown
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THE WORLD’S LARGEST ALTERNATIVES
EVENT FOR FINANCIAL ADVISORS

This event brings together financial advisors, RIAs, independent and wirehouse reps, private bankers, wealth advisors, trust officers and family office executives to learn about and discuss various categories of alternative investments, including REITs, Hedge Funds, Specialty ETFs and Mutual Funds, Private Equity, Managed Futures, Options, Commodities, Derivatives and Structured Products, Life Settlements and Premium Finance.

 

*All registered attendees for Inside Alternatives will have access to the Impact Investing Track at no additional cost.

 

Featured Speakers

Speakers

Anthony J. Caine

Anthony Caine is founder and chairman of LJM Partners, an alternative investment firm recognized for outstanding options strategies founded in July 1998. Caine also dedicates a significant amount of time to charitable causes including serving on the board of directors for Summit 54 and Rocky Mountain Prep, a Denver based charter school.

William J. Kelly

William (Bill) J. Kelly is an asset management industry veteran with extensive managerial and boardroom experience gained through successive CFO, COO, CEO and independent board director roles. He has led both start-ups and full-scale global organizations. Kelly is the former CEO of Robeco Investment Management, a subsidiary of the Netherlands-based global asset management organization with over $200 billion of assets under management, where he oversaw all aspects of business in the United States, including portfolio management, distribution and product development. He also was responsible for the strategic growth, introduction and positioning of new managed products in the United States and Europe, including alternative investments.

Thomas M. Kostigen

Editor-at-Large for Financial Advisor and Private Wealth magazines, Thomas Kostigen is a New York Times bestselling author who chairs FA‘s & PW‘s Impact Investing Conference, held annually, on environmental, social and human rights issues.

David Perkins

David Perkins has served as CEO of Hatteras Funds since the firm’s inception in September 2003. Perkins founded Hatteras Funds, a boutique alternative investment specialist, with the goal of developing alternative investment solutions for financial advisors and their clients. Prior to founding Hatteras Funds, he co-founded CapTrust, a $103 billion registered investment advisor, in 1997. He has more than two decades of investment management experience and offers proven results in building, operating and leading client-focused firms.

Jeffrey K. Ringdahl

Jeffrey K. Ringdahl is a member of the board of directors of American Beacon Advisors Inc. and its affiliated companies. Ringdahl received a B.A. in economics from Boston University and an M.B.A. from the University of Notre Dame.

Evan Simonoff

Evan Simonoff is editorial director of Financial Advisor and Private Wealth magazines and is a founding partner of Charter Financial Publishing Network (CFPN). He has spent more than 20 years as an editor and reporter covering the financial services industry. Simonoff is a widely recognized expert on personal finance and investments.

David Smith

David Smith is a founding partner of Charter Financial Publishing Network (CFPN), a publisher, marketer and distributor of information for the financial services industry. He is co-founder and publisher of Financial Advisor and Private Wealth magazines and other CFPN publications.

Agenda
Subject to change

September 19, 2016

7:00 am - 5:00 pm

Registration


7:00 am - 8:00 am

Breakfast With Exhibitors


8:00 am - 8:10 am

Opening Remarks And Chairperson Welcome


8:10 am - 9:00 am

Managing Volatility And Risk

Pending CE Credit Approval
2016 has provided a wild ride in the markets and major changes could be ahead with the election of a new U.S. president that may fuel further market spikes that will unnerve investors. Already this year, more institutions have embraced alternative strategies to smooth returns in the hopes of producing better outcomes. Leading commentators and managers discuss options for your individual clients that make sense given the current landscape.

Moderator:

Evan Simonoff, Financial Advisor and Private Wealth magazines


9:05 am - 9:55 am

SESSION A

Covered Call Options

Pending CE Credit Approval
Covered call strategies can be used to generate premium income without adding additional risk and can be a convenient tool in equity allocation management. These strategies are best for clients willing to trade upside from a rally for safety on the downside. Learn more at this session.


SESSION B

Floating-Rate Income Funds

Pending CE Credit Approval
In a low-yield environment, these funds offer an alternative to investors striving for income. The funds, which primarily invest in bank loans and often boost returns using leverage, can provide diversification.


10:00 am - 10:30 am

Morning Networking Break With Exhibitors


10:35 am - 11:25 am

SESSION A

How Alternatives Can Improve Asset Allocation

Pending CE Credit Approval
What should you consider when you want to use alternatives to improve asset allocation for your clients? Carefully selected alternative investments can provide alpha and act as hedges, and can be useful in smoothing returns.


SESSION B

Managed Futures 2016

Pending CE Credit Approval
The strategy has evolved over time and has become synonymous with systematic trend following. However, the managed futures category encompasses many other strategies that are uncorrelated with equity markets as well as other alternative categories.


11:30 am - 12:20 pm

SESSION A

Long/Short Equity — Domestic

Pending CE Credit Approval
Deciding which U.S. equities to buy and which to short to produce smoother and better returns can be approached in many ways. Leading managers describe their strategies and explain how they might work for clients.


SESSION B

Long Short Equity — Global

Pending CE Credit Approval
Investment choices have opened up around the world but it takes a skilled manager to evaluate them, especially in such a volatile world environment. Global long/short managers discuss their strategies for achieving results.


12:20 pm - 1:30 pm

Lunch Keynote


1:30 pm - 2:05 pm

Dessert Break With Exhibitors


2:10 pm - 3:00 pm

SESSION A

Is It Time To Go For The Gold?

Pending CE Credit Approval
Gold investments have been annihilated over the last five years. What has changed to make investors reconsider?


SESSION B

ETFs, ETNs And Hedge Fund Mutual Funds

Pending CE Credit Approval
ETFs, ETNs and hedge fund mutual funds, can provide alpha with more liquidity than other alternatives. This panel will address how "liquid alternatives" can diversify client assets and improve risk-adjusted returns.


3:05 pm - 3:55 pm

SESSION A

Investing In Real Estate

Pending CE Credit Approval
In most markets, real estate has turned the corner. Experts debate underlying fundamentals that can assist you in determining which programs and sponsors are appropriately suited for various clients.


SESSION B

The Impact Of Low Interest Rates On Generating Income

Pending CE Credit Approval
Experts discuss the devastating effect low interest rates have had on savers and retirees. Significant rate increases are not on the horizon, and advisors need to investigate ways for clients to earn income in a hostile environment. This session will examine a variety of investment vehicles that are available and explore their pros and cons.


4:00 pm - 4:35 pm

Afternoon Networking Break With Exhibitors


4:40 pm - 5:30 pm

SESSION A

Energy Investing

Pending CE Credit Approval
Energy producers and pipeline companies were crushed earlier this year, and some observers called it a buying opportunity. Was it? The companies in this sector have long been reliable income producers for investors. Our panelists look at opportunities in this sector.


SESSION B

Private Equity And Venture Capital Opportunities

Pending CE Credit Approval
These investments are often best for your high-net-worth clients. Learn what the current opportunities are from investment managers who evaluate such options.


5:30 pm - 6:30 pm

Cocktail Reception


September 20, 2016

7:00 am - 8:00 am

Breakfast With Exhibitors


8:00 am - 8:10 am

Chairperson Recap


8:15 am - 9:15 am

Breakfast Keynote


9:20 am - 10:10 am

SESSION A

What’s Up With Yieldcos?

Pending CE Credit Approval
These entities are holding companies created by power-generation companies to operate renewable energy assets such as solar and wind power. Yieldco projects have long-term agreements to deliver electric power to customers, so they generate steady cash flows. For some investors, the early stumbles of a nascent industry have created a buying opportunity.


SESSION B

Business Development Companies

Pending CE Credit Approval
Closed-end funds that primarily lend to small- and mid-sized firms, business development companies pay out 90% of their income and many provide very attractive yields for investors. However, not all BDCs are the same or offer the same quality of investments. Learn what to look for in evaluating these alternatives.


10:15 am - 11:05 am

SESSION A

Minimizing Taxes With Alternatives

Pending CE Credit Approval
Tax efficient alternative strategies can generate high levels of tax-free income while maximizing after-tax return and remaining neutral to changes in interest rates. These strategies may also offer significant diversification benefits.


SESSION B

Peer-To-Peer Lending

Pending CE Credit Approval
Retail investors, big institutions and hedge funds have invested in loans made through peer-to-peer lending. Learn more about peer-to-peer lending and whether investing in these loans is right for your clients.

Moderator:

Jeff Schlegel, Financial Advisor and Private Wealth magazines


11:05 am - 11:40 am

Networking Break With Exhibitors


11:40 am - 12:30 pm

SESSION A

Accessing And Allocating Alternatives

Pending CE Credit Approval
You may know why you should use alternative investments in an asset-allocation model, but are unsure of how large of an allocation to make in the average client's portfolio. Which strategies make the most sense to gain exposure yet remain simple so the client can understand the investment? ETFs? Mutual funds? Panelists also discuss investment minimums, fees and liquidity issues associated with alternatives, as well as the solutions, including feeders, intermediaries and platforms. Come learn what makes the most sense for you and your clients.


SESSION B

Public vs. Private Investments

Pending CE Credit Approval
This session will examine the primary differences between private placements (such as hedge funds and private equity) and mainstream public investments, while discussing the best tools and processes for research, analysis and due diligence.


12:30 pm - 2:00 pm

Lunch Keynote

George Will


2:00 pm - 3:00 pm

Arbitrage Strategies

Pending CE Credit Approval
Newer trends in investing have created more opportunities to capitalize on price differences, but some strategies are more risky than others. Panelists explain how they recognize inefficiencies and apply them to investment choices.


3:00 pm

Conference Ends


Sponsors and Exhibitors

American Beacon Advisors Inc.

Established in 1986, American Beacon Advisors Inc. manages the American Beacon Funds—a series of competitively priced mutual funds that include domestic and international equity, alternative, fixed-income and money-market portfolios. As of September 30, 2015, American Beacon had $56.1 billion in assets under management. For more information, visit www.americanbeaconfunds.com.

Folio Institutional

Folio Institutional provides custody and brokerage services to financial professionals and institutions nationwide, servicing billions of dollars in assets. Their patented online brokerage and investing solutions enable advisors to manage thousands of client accounts, implement diversified investment strategies, manage tax liabilities and fully integrate billing, performance reporting and other services.

www.folioinstitutional.com

Franklin Square

Franklin Square is a leading manager of alternative investment funds designed to enhance investors’ portfolios by providing access to asset classes, strategies and asset managers that typically have been available to only the largest institutional investors. Looking for income and diversification? We can help. Start your research at www.franklinsquare.com.

Hatteras Funds

Hatteras Funds provides unique alternative investment solutions for financial advisors and their clients. We believe that all investors should have access to the same sophisticated investment approach and superior portfolio management talent as the largest institutions. Hatteras Funds offers a suite of innovative products designed to help allocate to alternative investments.

www.hatterasfunds.com

Litman Gregory Asset Management

With over 25 years of manager selection and asset allocation experience, Litman Gregory’s core expertise is intensive research. Advisors can access this expertise through the Litman Gregory Portfolio Strategies, AdvisorIntelligence and Masters Funds. Litman Gregory manages or directs over $10 billion in assets through their affiliated companies (as of 12/31/14).
www.LitmanGregory.com

LJM Funds Management

LJM Funds Management is a liquid alternative investment management firm specializing in volatility strategies. Our flagship fund aims to deliver low correlation to equity markets, diversify traditional portfolios and target lower standard deviation returns to increase overall portfolio returns.

 

www.ljmfunds.com

Millennium Trust Company

Millennium Trust Company is celebrating 15 years as a leading financial services company offering niche alternative custody solutions to institutions, advisors and individuals. Millennium’s innovative solutions include rollover solutions, alternative asset custody, private fund custody and advisor support solutions. Millennium Trust performs the duties of a directed custodian.

 

www.mtrustcompany.com

Provasi Capital Partners

Provasi Capital Partners offers access to specialized investment strategies through a multi-manager approach presenting advisors and their clients with unique options for allocating capital, managing risk and diversifying assets. For more information, call 866-655-3600 or visit provasicapital.com. Provasi Capital Partners LP is a member of FINRA/SIPC.

Swan Global Investments

Swan Global Investments is an independent advisory firm with $2.4 billion in assets under management. It was formed in 1997 to offer a proprietary strategy designed to hedge against large stock market declines. The Defined Risk Strategy is an actively managed, hedged equity, rules-based process. It is available in mutual funds, separately managed accounts and as an overlay to customize equity portfolios. Through a combination of techniques that seek to hedge the market and generate market-neutral income, the goal of minimizing losses in bear markets and outperforming the S&P 500 over full market cycles has been achieved over the long term on a risk-adjusted and absolute basis.

 

www.swanglobalinvestments.com

The Chartered Alternative Investment Analyst (CAIA) Association

The Chartered Alternative Investment Analyst (CAIA) Association is the world leader in alternative investment education. CAIA programs include the CAIA Charter and the Fundamentals of Alternative Investments Certificate Program. For more information, please visit CAIA.org.

The Gemini Companies

The Gemini Companies have over 30 years of experience in providing comprehensive pooled investment solutions to independent advisors and the investment community. Our services include helping clients bring their own investment vehicles to market and providing full-servicing of mutual funds, hedge funds, exchange-traded funds and other pooled investment products, including distribution services.

 

www.thegeminicompanies.com

Wells Fargo

Wells Fargo Advantage Funds guide institutions, financial advisors and individuals through the investment terrain to help them reach their financial objectives. Everything we do is built on the integrity and service established by Wells Fargo & Company, the expertise of our independent investment teams and our collaborative level of service.

Westchester Capital Management

Westchester Capital Management (WCM) is a registered investment advisor focusing on delivering innovative event-driven investment strategies to financial advisors and their high-net-worth clients. WCM, well known as the investment manager of The Merger Fund, manages approximately $6 billion in assets through a variety of vehicles, including mutual funds, hedge funds, UCITS funds and variable insurance products. More information regarding WCM and the funds managed can be found at www.westchestercapitalfunds.com.

App

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FAQ

What is the dress code for the conference?
The attire for the conference is business casual. No shorts or t-shirts.

What is the cancellation policy?
If you are unable to attend, you may replace your registration with a substitute delegate at no extra cost. Should you completely cancel, notification must be submitted in writing at least 45 days prior to the event. No cancellation refunds/requests will be accepted within 45 days of the event.

In the event the conference is cancelled, the producer assumes no liability for non-refundable transportation costs, hotel accommodations or any additional costs incurred by registrants. The Conference producer reserves the right to alter the agenda without notice including the substitution or cancellation of speakers and/or topics.

Details of the Conference provided on this website and in other materials is for your general information and use only. It is subject to change without notice.

What time does registration open?
Attendee registration opens at 7:00 a.m.

Can I register on-site on the day of the conference?
Yes, however we encourage you to register beforehand.

How will continuing education hours be credited?
Forms will be available at registration, all attendees are to self-report the program for credit.

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Speaking/Sponsorship Opportunities

If you're interested in speaking or sponsorship opportunities please contact:

David Smith, EVP,
Group Publisher
(732) 450-8866
ext. 26
dsmith@fa-mag.com

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Press Inquiries

For inquiries on registration or hotel information please contact:

Linda Dunn
(732) 450-8866
ext. 36
linda@fa-mag.com

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